Ohio Administrative Code
Title 1301:6 - Division of Securities
Chapter 1301:6-3 - Registration of Securities; Licensing
Section 1301:6-3-09.3 - Electronic filings
Universal Citation: OH Admin Code 1301:6-3-09.3
Current through all regulations passed and filed through September 16, 2024
(A) Issuers may elect to submit notice filings to the division electronically.
(1)
Investment companies that have registered securities,
or have filed a registration statement, under the Investment Company Act of
1940,
15 U.S.C.
80a-1 et seq., as amended,
issuers relying on Rule 506 of
Regulation D,
17
CFR 230.506, as amended, eligible tier 2
issuers pursuant to Regulation A,
17 CFR 230.251
et seq., or eligible issuers relying on "Regulation Crowdfunding,"17 CFR
227.100 et seq.,
may submit electronic filings
to the division.
(2) Investment
companies shall submit a Form NF for electronic filings.
(3) Issuers relying on Rule 506 of Regulation
D,
17
CFR 230.506, as amended, shall file a
Form D for electronic filings.
(4)
Eligible tier 2 issuers relying on Regulation A,
17 CFR 230.251
et seq., shall submit parts I-III of Form 1-A, amendments, "Notice of
Qualification or Withdrawal," annual reports and amendments to annual
reports.
(5)
Eligible issuers relying on "Regulation Crowdfunding,"17 CFR
227.100 et seq., shall file Form C,
amendments, updates, annual reports, amendments to annual reports and
termination reports.
(6)
The division may require or waive such other additional
information for the protection of investors or to assess the elibibility of the
issuer for notice filing.
(7) A Form U-2
"Uniform Consent to Service of Process" must be submitted if required by section
1707.11 of the
Revised Code.
(B) Electronic signatures.
(1) For notice filings
submitted electronically, a typed signature may be accepted in lieu of a manual
signature.
(2) A typed signature
shall have the same legal effect as a manual signature.
(C) Fees.
(1) Fee payment for an electronic filing with
the division shall be transferred through the automated clearing house network
in cash concentration or disbursement entry format by fedwire
transfer.
(2) Investment company
notice filings, eligible Regulation A,
17 CFR 230.251
et seq., tier 2 notice filings, and eligible "Regulation Crowdfunding,"17 CFR
227.100 et seq., notice filings shall
include fees required under divisions (A) (2)(a) and (A)(2)(b) of section
1707.092 of the
Revised Code.
(3) Issuers relying
on Rule 506 of Regulation D,
17
CFR 230.506, as amended, shall submit a
one hundred dollar filing fee as required under division (X)(3) of section
1707.03 of
the Revised Code.
(D) Business hours.
(1) Electronic filings may be
submitted from eight a.m. to five p.m. eastern standard time or eastern
daylight time as applicable.
(2)
Electronic filings may be submitted from Monday to Friday, except for legal
holidays as listed in section
1.14
of the Revised Code.
(3) An
electronic filing is deemed filed upon receipt of the required forms and
fees.
(4) If an issuer in good
faith attempts to submit an electronic filing to the division in a timely
manner, but the transmission is delayed due to technical difficulties, the
electronic filer may request an adjustment to the filing date of the
transmission. The division may grant the request if it appears that such an
adjustment is appropriate and consistent with the public interest and the
protection of investors.
(E) Amendments.
(1) Amendments and
supplemental filings to a previously submitted electronic filing shall
include the file number assigned by the division.
(2) Additional fees to amend a previously
submitted electronic filing to increase the offering
amount shall be transferred through the automated clearing house network
in cash concentration or disbursement entry format by fedwire
transfer.
(F) Errors and omissions. An issuer shall not be subject to the liability and anti-fraud provisions of Chapter 1707. of the Revised Code with respect to an error or omission in an electronic filing resulting solely from electronic transmission errors beyond the control of the electronic filer where the error or omission is corrected by submitting to the division a filing that contains an amendment as soon as reasonably practicable after the electronic filer becomes aware of the error or omission.
Disclaimer: These regulations may not be the most recent version. Ohio may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
